EFTA01408692.pdf

Subject: FW: KCP list updated to client perimeter [I] From: Nina Tona ‹ > Date: Wed, 02 Jan 2019 15:47:49 -0500 To: Davide-A Sferrazza ‹ > Classification: For internal use only Nina Tona Associate Business Control Manager, Key Client Partners — Americas Deutsche Bank Wealth Management Tel. Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Sonya Hunjan Sent: Friday, December 14, 2018 11:03 AM To: Nina Tona Cc: Tanushree Kirti Subject: FW: KCP list updated to client perimeter [I] FYI Nina, this was the KCP file shared with CIB. EFTA01408692 Thanks, Sonya Sonya Hunjan PWCC KYC Remediation Programme Zig Zag Building Deutsche Wealth Management Limited 70 Victoria Street, SW1E 6SQ London, United Kingdom From: Sophie Scales Sent: 10 December 2018 10:06 To: Sonya Hunjan Cc: Saleha Bilal ; Enri ue Marrero ; Dan Fox ; Claire Butterworth ; Pete King ; Tanushree Kirti ; Aziz Anwar ; Hin-Yee Wan <hin- ; Diane Franklin ; Marina Andre Subject: RE: KCP list updated to client perimeter [I] Classification: For internal use only Hi Sonya, Yes all updated you provided in the below file have been loaded into the client perimeter. Thanks, Sophie Sophie Scales Project Mercury Deutsche Bank AG, Filiale London EFTA01408693 Global Markets DEUTSCHE BANK 1st Floor 72 London Wall EC2N 2DB Email From: Sonya Hunjan Sent: 07 December 2018 17:37 To: Sophie Scales Cc: Saleha Bilal ; Enrique Marrero ; Dan Fox ; Claire Butterworth ; Pete King ; Tanushree Kirti ; Aziz Anwar ; Hin-Yee Wan <hin- ; Diane Franklin ; Marina Andre Subject: KCP list updated to client perimeter Hi Sophie, Can you please confirm that the KCP list shared has been updated on the client perimeter? Thanks, Sonya Sonya Hunjan PWCC KYC Remediation Programme Zig Zag Building Deutsche Wealth Management Limited 70 Victoria Street, SW1E 6SQ London, United Kingdom From: Sonya Hunjan Sent: 05 December 2018 18:44 To: Aziz Anwar ; Hin-Yee Wan ; Diane Franklin ; Marina Andre ; Sophie EFTA01408694  ; Enrique Marrero ; Dan Fox ; Claire Butterworth ; Pete King ; Tanushree Kirti Subject: Germany's perimeter - 230k list Hi, Please find Germany's identified perimeter to the 230k list attached. Please advise once this has been updated on your master file. Further to this, please can you confirm that the KCP list shared by WM has been green listed on the master client perimeter. Thanks in advance, Sonya « File: GY response to 230k list.xlsx » Sonya Hunjan PWCC KYC Remediation Programme Zig Zag Building Deutsche Wealth Management Limited 70 Victoria Street, SW1E 6SQ London, United Kingdom From: Tanushree Kirti Sent: 30 November 2018 12:55 To: Aziz Anwar ; Hin-Yee Wan ; Saleha Bilal ; Sonya Hunjan ; Enrique Marrero ; Diane Franklin Marina Andre < ; Claire Butterworth ; Pete Kin ; Dan Fox >; Sophie Scales Subject: WM and CIB client selection interaction - 30 Nov [I] Classification: For internal use only Hi All, Thank you for attending the call just now. Key discussion points and actions below — please let me know if there are any questions or feedback. Attendees: EFTA01408695 CIB: Diane Franklin, Enrique Marrero, Marina Andre, Charlotte, Dan Fox WM: Saleha Bilal, Sonya Hunjan and Tanu Kirti Key messages: Deadlines for known sprint population as below: Sprint 2 — end of April 2019, Sprint 3 — end of May 2019, ICM — 22nd April 2019 KCP perimeter provided by WM needs to be reviewed by CIB to include in their central perimeter Diane shared the CIB latest procedures during the meeting that WM will further review and revert with any clarifications or questions Relevant process steps related to red file identification and remediation as below: When the file goes red within CIB, CIB will centrally assess ACOs in other divisions based on divisional client perimeter info. Diane's team provide weekly files off the back of this decision — WM will confirm at this stage whether they want to be the ACO or not If the file is red across all divisions at this stage, file is sent to clearing house via Marina's team for final opinion from all divisions within 2 weeks. WM to veto here for genuine WM interests and provide outreach template with ACO and client outreach info CIB Client selection confirm back to WM the acceptance or rejection of WM ACO at this stage CIB Client selection provide outreach info received at previous step to CLM (Claire Butterworth's team) on a weekly basis CIB CLM team input WM ACO and outreach info in dbKYCs for remediation. WM ACO and outreach to work in dbKYCs with regional CLM teams Actions: CIB to confirm treatment of KCP perimeter WM to review CIB's process deck and come back with any further questions WM to provide RtB contacts to be involved in clearing house, veto and template provision Marina to respond the Angela Ng regarding next steps for 5 very important WM cases that are showing red even though remediation was completed in August against v2.1 Best, Tanu « OLE Object: Picture (Device Independent Bitmap) > > Tanu Kirti Director EFTA01408696 Tel. Mobile +44 7833164140 Email Original Appointment From: Tanushree Kirti Sent: 09 November 2018 08:45 To: Tanushree Kirti; Aziz Anwar; Sophie Scales; Saleha Bilal; Sonya Hunjan; Hin-Yee Wan Cc: Enrique Marrero; Diane Franklin; Marina Andre; Claire Butterworth; Pete King; Dan Fox Subject: WM and CIB client selection interaction When: 30 November 2018 11:00-11:45 (UTC+00:00) Dublin, Edinburgh, Lisbon, London. Where: VMR: Pin: Hi All, Meeting to discuss the procedures and interactions. Best, Tanu EFTA01408697